Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Investment Advisers

SEC Reports on Use of Form PF Data

private equity

Investment Advisers, Private Equity The SEC has issued its annual report on use of Form PF data. In its  examination and enforcement programs regarding registered investment advisers that manage private funds, the staff generally reviews information contained in the Form PF filing for inconsistencies with other information obtained from an adviser during an examination, such as due diligence reports, […] Read more →

by   |   August 18, 2014

Scale and Gavel

SEC Commissioner Objects to Retroactive Application of Dodd-Frank Bars

Investment Advisers, Litigation, Municipal Advisors Commissioner Gallagher recently filed this opinion dissenting in part with respect to In the Matter of John W. Lawton. The matter arose out of the alleged misconduct of respondent... Read more →

by   |   August 5, 2014

SEC logo

SEC Grants Exceptions to Family Office Rules

Investment Advisers The SEC has previously adopted a rule to define “family offices” that are excluded from the Investment Advisers Act of 1940. “Family offices” are entities established by... Read more →

by   |   July 30, 2014

hedge fund

Hedge Fund COO Makes Admissions in SEC Settlement

Investment Advisers, Litigation The SEC announced that the former Chief Operating Officer at Harbinger Capital Partners LLC has agreed to settle allegations that he assisted a scheme by the firm and its owner to... Read more →

by   |   July 28, 2014